SFC Licences of TSE Ka Wai, Jaff 謝家威

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 RE 1 13 October 2022
Yue Xiu Securities Company Limited 越秀証券有限公司 RE 1 04 January 2019 30 September 2022
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 RO 4 28 September 2011 26 September 2018
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 RO 1 28 September 2011 26 September 2018
AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 4 11 October 2010 24 October 2011
AllianceBernstein Hong Kong Limited 聯博香港有限公司 RE 1 11 October 2010 24 October 2011
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 4 18 May 2010 31 July 2010
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE 1 18 May 2010 31 July 2010
ICAP Equities Asia Limited RO 1 29 July 2009 05 May 2010
ICAP Equities Asia Limited RE 4 19 January 2009 05 May 2010
ICAP Equities Asia Limited RE 1 19 January 2009 29 July 2009
Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 RE 1 12 June 2003 01 September 2008
RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 RE 1 12 June 2003 04 February 2005
UBS Securities Hong Kong Limited RE 1 01 April 2003 10 April 2003
UBS Securities Hong Kong Limited RE 4 01 April 2003 10 April 2003
UBS Securities Hong Kong Limited RE 6 01 April 2003 10 April 2003
UBS Securities Hong Kong Limited RE 9 01 April 2003 10 April 2003
UBS Securities Asia Limited RE 1 01 April 2003 10 April 2003
UBS Securities Asia Limited RE 4 01 April 2003 10 April 2003
UBS Securities Asia Limited RE 6 01 April 2003 10 April 2003
UBS Securities Asia Limited RE 9 01 April 2003 10 April 2003